Field Compliance Supervisor

6 days ago


St Louis, Missouri, United States Saxony Securities, Inc Full time
About the Opportunity

Saxony Securities, Inc. is seeking an experienced Field Compliance Supervisor to join our team. As a key member of our Compliance Department, you will be responsible for overseeing branch office supervision, monitoring account and trade activity, and supporting branch offices in upholding regulatory and firm standards.

This is a unique opportunity to work with a dynamic and forward-thinking organization that empowers its Financial Advisors to redefine independence without sacrificing ownership or control. If you have a passion for compliance and a strong desire to make a meaningful contribution to our team, we encourage you to apply.

Salary: $85,000 - $125,000 per year (based on experience)

Key Responsibilities
  1. Lead Branch Supervision: Oversee branch office supervision, leveraging electronic systems and reports to monitor account and trade activity.
  2. Collaborate with Advisors: Work closely with Financial Advisors and branch teams to build compliant and successful practices.
  3. Develop Compliance Programs: Design and implement effective compliance programs to ensure firm-wide adherence to industry regulations.


  • St Louis, Missouri, United States Saxony Securities, Inc Full time

    Job Summary:We are seeking a highly skilled Compliance Field Supervisor to join our team at Saxony Securities, Inc. This role will oversee branch office supervision, leveraging electronic systems and reports to monitor account and trade activity, support branch offices, and uphold regulatory and firm standards.Key Responsibilities:Advisor Support:...


  • St Louis, Missouri, United States SOLID Surface Care, Inc. Full time

    Solidify Your Career with SOLID Surface Care, Inc.About the RoleWe are seeking a highly skilled and experienced Field Supervisor to join our team at SOLID Surface Care, Inc. This is a unique opportunity to lead a team of professionals in delivering exceptional cleaning and restoration services to our clients.Job DescriptionThe successful candidate will be...


  • St Louis, Missouri, United States Saxony Securities, Inc Full time

    About the RoleAs a Field Compliance Supervisor at Saxony Securities, Inc., you will play a pivotal role in ensuring firm-wide compliance with industry regulations. This position involves overseeing branch office supervision, leveraging electronic systems and reports to monitor account and trade activity, and supporting branch offices in upholding regulatory...


  • St Louis, Missouri, United States Saxony Securities, Inc Full time

    About the Position:This Compliance Field Supervisor role is responsible for overseeing branch office supervision, leveraging electronic systems and reports to monitor account and trade activity, support branch offices, and uphold regulatory and firm standards. The ideal candidate will have a strong background in compliance oversight, risk management, or...


  • St Louis, Missouri, United States SSM Health Full time

    Lead a Team of Sonographers The Diagnostic Imaging Supervisor is responsible for overseeing the imaging services department, ensuring high-quality patient care and operational efficiency. As a key member of the SSM Health team, this role requires strong leadership skills to monitor documentation accuracy, perform quality control testing, and provide training...


  • St Louis, Missouri, United States Capstone Logisitcs Full time

    Job OverviewWe are seeking a highly skilled Logistics Operations Supervisor to join our team at Capstone Logistics. This role will oversee the daily operations of our distribution center, ensuring timely and efficient delivery of goods to our customers.The successful candidate will have 2-5 years of experience in a supervisory or leadership role, with a...


  • St Louis, Missouri, United States Edward Jones Full time

    At Edward Jones, we're committed to fostering a culture of compliance that promotes our clients' best interests and choices. As a Field Supervision Officer II in our Field Supervision Department, you'll play a critical role in achieving this goal by enforcing firm and regulatory compliance rules, utilizing extensive electronic processing systems and...


  • St Louis, Missouri, United States Edward Jones Full time

    Job Overview In pursuit of excellence, Edward Jones seeks a Field Supervision Officer II to join our team in Tempe, AZ. As a vital member of our Field Supervision Department, you will play a critical role in achieving compliance and enabling exceptional client experiences. About the Role This is an exciting opportunity to utilize your skills and...


  • St Louis, Missouri, United States Accounting Career Consultants, ACC Legal & HR Career Consultants Full time

    Are you a motivated and organized individual looking to advance your career in the legal field? We are seeking a Corporate Compliance Associate to join our team at Accounting Career Consultants, ACC Legal & HR Career Consultants.This position offers a unique opportunity to contribute to a legal team that supports global operations. You'll gain hands-on...


  • St Louis, Missouri, United States STL Company Full time

    We are looking for a skilled Construction Compliance Administrator to support our team at STL Company. This role requires strong organizational skills, attention to detail, and excellent communication abilities. In this position, you will play a vital part in ensuring that our company and its projects comply with relevant regulations, which includes...


  • St Louis, Missouri, United States Saxony Securities, Inc Full time

    About the RoleWe are seeking an experienced Financial Industry Compliance Lead to join our Compliance Department at Saxony Securities, Inc. This role requires a strong understanding of industry regulations and a proven track record in compliance oversight, risk management, or supervision.The Compliance Lead will be responsible for reviewing and approving...


  • St Louis, Missouri, United States STL Company Full time

    Are you an organized and detail-oriented individual looking for a new challenge? Do you have a passion for ensuring that companies comply with relevant regulations and standards? If so, we encourage you to apply for the Construction Compliance Administrator role at STL Company.About the Job:This is a fantastic opportunity to join a dynamic team and...


  • St Louis, Missouri, United States Edward Jones Full time

    We're looking for a dedicated professional to fill the role of Field Supervision Officer II at Edward Jones. In this position, you'll be working closely with our Compliance Division to ensure the highest standards of regulatory compliance are met. You'll review electronic communication for branch teams and home office associates, verify account information...


  • St Louis, Missouri, United States STL Company Full time

    We are looking for a skilled Compliance and Administrative Specialist to join our team at STL Company. In this role, you will be responsible for ensuring compliance with regulatory requirements, managing projects, and providing administrative support to our office staff. You will work closely with our team to maintain accurate records, complete data entry...


  • St Louis, Missouri, United States Allied Universal® Full time

    Overview: As a detail-oriented and dynamic Assistant Account Manager, you will play a key role in overseeing daily security operations at a university campus.About the Role: This position involves managing staff, ensuring compliance with policies, and maintaining a safe and secure environment for students, staff, and visitors.Responsibilities:Assist the...


  • St Louis, Missouri, United States Thermo Fisher Scientific Full time

    **Quality Assurance Expert Wanted**Thermo Fisher Scientific is seeking a Regulatory Compliance Engineer to join our team in St. Louis, MO.The estimated annual salary for this position is $90,000 - $115,000, based on experience.About the JobThis role involves working in a fast-paced biologic drug substance manufacturing facility, operating around the clock,...


  • St Louis, Missouri, United States ICL Full time

    RequirementsTo succeed in this role, you must have:Experience3+ years of experience in international logistics, supply chain management or a related field.EducationBachelor's degree in Logistics, Supply Chain, Business Administration, or related field from an accredited institution.SkillsStrong knowledge of international shipping regulations, customs...


  • St Louis, Missouri, United States Aftermath Full time

    At Aftermath Services, we are dedicated to providing professional and compassionate services to families, communities, and businesses after traumatic events. As a Biohazard Remediation Supervisor, you will be responsible for leading our team in various bioremediation projects, ensuring exceptional service to our clients.We offer a hybrid pay structure, where...


  • St Louis, Missouri, United States ABM Industries Full time

    Job DescriptionWe are seeking a highly skilled Janitorial Crew Supervisor to join our team at ABM Industries. As a key member of our facilities operations, you will be responsible for supervising a team of custodians and ensuring the highest quality of service delivery.Your primary focus will be on leading and guiding the team, conducting quality improvement...


  • St Louis, Missouri, United States Lange Company Full time

    Food Safety Compliance Coordinator Job DescriptionLange Companies is seeking a highly skilled Food Safety Compliance Coordinator to join our Operations Team. As a key member of our team, you will be responsible for ensuring that all food products meet the highest safety and quality standards.Key Responsibilities:Manage and respond to incoming correspondence...